the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
of operation of the securities company. “Service provider” means a provider of services as an investor contact on behalf of securities companies or a provider of back office services to securities
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
valuation of derivatives contracts, and any other information which has impact on management. The granting of approval under the first paragraph shall take into consideration the sources of origin
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
take the computer out of the company such as deliver to repair or destroy the information which stored in media recorder the etc.. [A] 2. Controlling the users privilege · Determining the privilege for
required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action
. To contact and solicit an investor to become a counterparty of a private fund, the management company must take into consideration such investor’s investment policy, and offer an investment which is
transferee on the back of the certificates. In such event, the securities issuing company or the registrar, as the case may be, shall enter the transfer in the register and certify such transfer on the
purchase or sell a securities with a [concurrent] agreement to sell back or buy back such securities; (3) any contract or trade as specified in the notification of the SEC. SECTION 5. Any derivatives